Exam Name: Canadian Investment Regulatory Exam
Certification Provider: CIRO
Corresponding Certification: Canadian Investment Regulatory
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CIRO CIRE Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Securities, managed products, mutual funds and other investments | 19% | - Other investments including hedge funds, structured products, alternative investment funds, crypto assets and ESG-related products - Purpose and uses of market indices - Considerations affecting exchange-traded fund investors - Features, risks and returns of managed products - Types of pooled products - Considerations affecting managed product investors - Considerations affecting mutual fund investors - Types, features, risks and returns of equities - Types, features, risks and returns of fixed income securities and products - Considerations affecting equity investors and potential shareholders - Asset classes generally sold and traded at an Investment Dealer - Considerations affecting fixed income investors |
| Topic 2: Overview of Canadian securities regulatory framework | 10% | - Other applicable laws including confidentiality, privacy, anti-spam, company disclosure and shareholder rights - Role and authority of the Canadian Securities Administrators and provincial and territorial securities and derivatives regulators - Anti-money laundering and anti-terrorist financing legislation and regulations - Role and authority of the Canadian Investment Regulatory Organization - Function and purpose of the Canadian Investor Protection Fund - Investment Dealer registration and individual approval requirements - Function and purpose of other investment industry regulators and agencies - Function and purpose of clearing agencies - Criminal Code and its application to financial crime - Purpose and implications of the Bank Act and Bankruptcy and Insolvency Act - Function and purpose of investment industry marketplaces |
| Topic 3: Prospective client relationships | 10% | - Role of cost in product selection - Exemptions under National Instrument 45-106 - Client record documentation, filing and maintenance - Investment Dealer onboarding process - Institutional client qualification requirements - Required account agreement and Firm Welcome package documents - Retail client information collection - Third parties and other professionals in the client's life - Impact of fees, turnover and taxes on investment returns - Client relationship model - Differences between retail and institutional clients |
| Topic 4: Client complaint handling and reporting | 5% | - Recourse available to dissatisfied clients - Prohibited practices in client settlement agreements - Policies and procedures for reporting, handling and maintaining complaint records - Investment Dealer complaint reporting obligations and penalties - Role of CIRO and provincial regulators in the complaints handling framework - Investment Dealer obligations to clients - Potential client issues, liability and consequences |
| Topic 5: Market and company analysis | 8% | - Industry performance analysis - Rules relating to companies - Factors influencing the macroeconomy - Economic indicators and sources of information - Company performance analysis tools - Basic economic theories - Technical and statistical analysis tools and information sources - Basic market theories and stock market behaviour - Effects of macroeconomic factors on financial markets |
| Topic 6: Scope of client relationships | 15% | - Purpose and content of relationship disclosure - Suitability determination requirements for retail clients - Product due diligence obligations - Account appropriateness obligations - Internal escalation procedures and subject matter experts - Role of the Registered Representative in providing client service - Role of the Investment Representative in providing client service - Trust, agency and fiduciary duty - Systematic approaches to investment management and investment strategies - Requirements for working with clients in the United States and other foreign jurisdictions - Typical services provided by retail Investment Dealers - Typical services provided by institutional Investment Dealers - Know-your-product obligations - Investment performance benchmarks - Exemptions from suitability determination requirements - Account appropriateness versus suitability determination - Institutional client sophistication assessment and suitability exemptions |
| Topic 7: Derivatives | 5% | - Listed versus over-the-counter derivative markets - Basic transactional elements of futures and options - Features of options contract types - Administrative requirements for derivative trading with clients - Prohibited derivative trading practices - Basic uses of derivatives - Features of other derivative contract types - Single and multi-legged derivative trading strategies |
| Topic 8: Market integrity, trade execution and settlement | 12% | - Margin requirements - Gatekeeping requirements for manipulative and deceptive practices, unacceptable activities and front running - Functions of investment banking, research and corporate finance - Features of different account types - Specialized trading agreements for derivative accounts - UMIR gatekeeping obligations - Order variations, cancellations and corrections - Reporting obligations to firms and regulators - Order entry, trade management, settlement and delivery - Order confirmation requirements - Features of different order types - Universal Market Integrity Rules |
| Topic 9: Conflicts of interest and ethics | 15% | - Importance of managing conflicts of interest - Ethical and legal responsibilities to clients - Importance of ethics and its relationship to rules - Ethical principles and standards of conduct for Approved Persons and Investment Dealers - Activities outside an Investment Dealer - Conflicts of interest management process - Information controls, barriers, firewalls and restricted lists - Inappropriate or prohibited personal financial dealings with clients - Role of cybersecurity in protecting confidential information - Requirements regarding positions of influence - Client confidentiality policies and procedures - CIRO and other ethical standards of conduct |
CIRO Canadian Investment Regulatory Sample Questions:
1. When do retail client suitability determination requirements apply?
A) Before an Investment Dealer purchases, sells, withdraws, exchanges or transfers-out securities for a retail client's account
B) Within a reasonable time of an Investment Dealer purchasing, selling, withdrawing or exchanging securities for a retail client's account
C) In relation to the sale or purchase of investments for a retail client but not where exchanges or withdrawals are made
D) Before an Investment Dealer onboards a new client as part of the know-your-client (KYC) approach
2. What type of trading involves the use of algorithms to execute orders?
A) Manual stock selection based on fundamental and technical analysis
B) Broker-executed trades based on dealer recommendations
C) Trading strategies that are driven by market behaviours
D) Automated trading using mathematical models
3. Which of the following could be a market order?
A) An order for the purchase or sale of a listed or a quoted security at the closing sale price
B) Buy a security or derivative to be executed at a specified maximum price
C) Buy a security or a derivative to be executed upon entry to a marketplace at the best ask price
D) An order that includes a client order as well as a non-client order or principal order, or both
4. Which of the following statements best describes the benefit of holding a cumulative preferred share?
A) It allows companies to accumulate redemption rights over a set time
B) It accumulates interest on missed dividends until they are paid
C) It accumulates voting rights regardless of dividend payment status
D) It allows unpaid dividends to accumulate and be paid with priority
5. What information should the Relationship Disclosure specify in relation to benchmarks?
A) All the available benchmarks which could have been used to assess performance
B) All the benchmarks which competitor products use to assess performance
C) A general explanation of how benchmarks might be used to assess performance
D) At least three different benchmarks to assess performance
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: C | Question # 4 Answer: D | Question # 5 Answer: C |
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